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Owen David Sweeney

Ubs Financial Services Inc.

Seattle, WA

Scottsdale, AZ

Phoenix, AZ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-02-04
AK RA APPROVED 1997-08-14
TX RA APPROVED_RES 1991-05-17
  • CA RA
    APPROVED
    Since 2019-02-04
  • AK RA
    APPROVED
    Since 1997-08-14
  • TX RA
    APPROVED_RES
    Since 1991-05-17

Branch Locations

925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • United States

Scottsdale, AZ • United States

2575 East Camelback Road Suite 900, Phoenix, AZ 85016 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Anchorage AK 11/1987 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-09
S63 Uniform Securities Agent State Law Examination 1988-02-06
  • S65 Uniform Investment Adviser Law Examination
    1994-04-09
  • S63 Uniform Securities Agent State Law Examination
    1988-02-06
Other Names
  • Ownen David Sweeney
  • Owen D Sweeney
  • Owen David Sweeney
  • Owen D. David Sweeney

View on SEC IAPD

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KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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